DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
B••• D••• W••••• M•••••••••
Legal name T•• O•••••••• R••• I•••
Latest filing Mar 22, 2019
First filing on the tape Jan 6, 2016 · 66 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
66 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 22, 2019
Mar 23, 201710 then
Employees (5.A)6 as of Mar 22, 2019
Mar 23, 201712 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 15 to 5offices 0 to 3
Practice profile
derived from the filing of Mar 22, 2019; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- F•••• O• A•••••• to O••••••• A••••••• S••••••• L••Jun 28, 2019 · Other
- K••• R• L•••• to O••••••• A••••••• S••••••• L••Jun 28, 2019 · Other
- M••••••• T••••• M•••• to O••••••• A••••••• S••••••• L••Jun 28, 2019 · Other
- A•••••••• S••••••• H•••••• to L••••••• S••••••••• C••••Apr 4, 2018 · Other
- T•••• A••• W•••• to V••••• C•••••• M••••••••• L••Mar 26, 2018 · Other
- A•••• S• R•••• to V••••• C•••••• M••••••••• L••Mar 26, 2018 · Other
- G••••• S•••••• C••••••• to L••••••• S••••••••• C••••Mar 26, 2018 · Other
- L••••• R••• T••••••• to Q•••••• A•••• M••••••••• I•••May 10, 2017 · Other
- B••••• J•••••• R••••• to S•••••• G•••• F•••••••• S•••••••• L••Apr 11, 2017 · Other
- M••• A••••• C•••••• to S•••••• G•••• F•••••••• S•••••••• L••Apr 11, 2017 · Other
- C••• E••• M••••••• to S•••••• G•••• F•••••••• S•••••••• L••Apr 11, 2017 · Other
Joined, latest
- A•••• S• R•••• from T••••••••• F•••••••• A•••••••• L••Feb 6, 2018 · Other
- K••• R• L•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••May 25, 2017 · Other
- A•••••••• S••••••• H•••••• from V•••• C•••••• P•••••••• L••Mar 30, 2017 · Other
- T•••• A••• W•••• from T••••••••• F•••••••• A•••••••• L••Mar 29, 2017 · Other
- G••••• S•••••• C••••••• from C••••••• A••••••• P•••••••• L••Feb 6, 2017 · Other
- L••••• R••• T••••••• from E•••• C•••••• G••••• L••Feb 1, 2017 · Other
- B••••• J•••••• R••••• from S•••••• G•••• F•••••••• S•••••••• L••Sep 1, 2016 · Other
- C••• E••• M••••••• from S•••••• G•••• F•••••••• S•••••••• L••Aug 31, 2016 · Other
- F•••• O• A•••••• from M•• F•••••••• S•••••••• I•••Aug 12, 2016 · Other
- R••••• V•••• H••••• from O••• W••••• A•••••••• I•••Jun 20, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for O••••••• A••••••• S••••••• L••Jun 28, 2019 · Roswell, Ga
- 3 left for S•••••• G•••• F•••••••• S•••••••• L••Apr 11, 2017 · Roswell, Ga
- 2 joined from S•••••• G•••• F•••••••• S•••••••• L••Dec 31, 2016 · Austin, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• F••••• O• · Presidentcontrolsince 06/2016 · owns less than 5%
- A••••••••• L••• · Chief Compliance Officercontrolsince 02/2016 · owns less than 5%
- H•••••• K••••• G••••••• · Chief Operating Officercontrolsince 02/2016 · owns less than 5%
- H•••••• R•••••• V•••• · Managing Membercontrolsince 10/2015 · owns 75% or more
Related persons
Schedule D 7.A
- B••• D••• I•••••••• N••••••• I•••real estaten
- H••••• Capital Management, LLCinvestment advisernRAUM $8.0B
Offices
Schedule D 1.F, the 25 largest
- Brooksville, FL1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Employees · 5 to 6Nov 9, 2018 to Mar 22, 2019
- Employees · 6 to 5Jun 18, 2018 to Nov 9, 2018
- Insurance-licensed employees · 2 to 1Jun 18, 2018 to Nov 9, 2018
- Advisory employees · 6 to 5May 10, 2018 to Jun 18, 2018
- Employees · 7 to 6May 10, 2018 to Jun 18, 2018
- State-registered IARs · 6 to 5May 10, 2018 to Jun 18, 2018
- Advisory employees · 7 to 6Apr 9, 2018 to May 10, 2018
- BD registered reps · 1 to 0Apr 9, 2018 to May 10, 2018
- State-registered IARs · 7 to 6Apr 9, 2018 to May 10, 2018
- Other offices · 0 to 3Apr 9, 2018 to May 10, 2018
- Advisory employees · 6 to 7Apr 4, 2018 to Apr 9, 2018
- Employees · 6 to 7Apr 4, 2018 to Apr 9, 2018
- State-registered IARs · 6 to 7Apr 4, 2018 to Apr 9, 2018
- Advisory employees · 8 to 6Mar 28, 2018 to Apr 4, 2018
- Employees · 8 to 6Mar 28, 2018 to Apr 4, 2018
- State-registered IARs · 8 to 6Mar 28, 2018 to Apr 4, 2018
- Advisory employees · 15 to 8Mar 18, 2018 to Mar 26, 2018
- BD registered reps · 2 to 1Mar 18, 2018 to Mar 26, 2018
- Employees · 15 to 8Mar 18, 2018 to Mar 26, 2018
- State-registered IARs · 15 to 8Mar 18, 2018 to Mar 26, 2018
- Legal name · T•• O•••••••• R•• ••• to THE O•••••••• RIA, INC.Mar 17, 2018 to Mar 18, 2018
- Advisory employees · 18 to 15Feb 28, 2018 to Mar 17, 2018
- BD registered reps · 0 to 2Feb 28, 2018 to Mar 17, 2018
- Employees · 18 to 15Feb 28, 2018 to Mar 17, 2018
- Insurance-licensed employees · 3 to 2Feb 28, 2018 to Mar 17, 2018
- State-registered IARs · 18 to 15Feb 28, 2018 to Mar 17, 2018
- Advisory employees · 19 to 18Feb 12, 2018 to Feb 28, 2018
- Employees · 19 to 18Feb 12, 2018 to Feb 28, 2018
- State-registered IARs · 19 to 18Feb 12, 2018 to Feb 28, 2018
- Advisory employees · 20 to 19Feb 7, 2018 to Feb 12, 2018
- Employees · 20 to 19Feb 7, 2018 to Feb 12, 2018
- State-registered IARs · 20 to 19Feb 7, 2018 to Feb 12, 2018
- Advisory employees · 19 to 20Jan 12, 2018 to Feb 7, 2018
- Employees · 19 to 20Jan 12, 2018 to Feb 7, 2018
- State-registered IARs · 19 to 20Jan 12, 2018 to Feb 7, 2018
- Advisory employees · 18 to 19Jan 5, 2018 to Jan 12, 2018
- Employees · 18 to 19Jan 5, 2018 to Jan 12, 2018
- State-registered IARs · 18 to 19Jan 5, 2018 to Jan 12, 2018
- Other offices · 2 to 0Jan 5, 2018 to Jan 12, 2018
- Advisory employees · 20 to 18Dec 18, 2017 to Jan 5, 2018
Signals
1 dated events
- T•• O•••••••• R•• ••• filed its initial SEC registration (Form ADV)Jan 6, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026